{"url":"https://nivawealth.com/firms/delta-asset-management-113688","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113688","regulatoryAum":1528043700,"crd":"113688","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6487921","suffix":null,"lastName":"BYRD","firstName":"BRANDON","middleName":"ANDREW"},{"crd":"4748357","suffix":null,"lastName":"JONES","firstName":"CHRISTOPHER","middleName":"CALVERT"},{"crd":"2922684","suffix":null,"lastName":"KIRSHBAUM","firstName":"JAMES","middleName":"TODD"},{"crd":"2270098","suffix":null,"lastName":"MALL","firstName":"MYRON","middleName":"MERRIELL"},{"crd":"2240592","suffix":null,"lastName":"SMITH","firstName":"DAVID","middleName":"CHARLES"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":1251198296,"clients":517,"employees":10,"offices":1},{"filedOn":"2022-05-12","regulatoryAum":1473421564,"clients":547,"employees":10,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":1225741294,"clients":564,"employees":9,"offices":1},{"filedOn":"2024-06-25","regulatoryAum":1381799606,"clients":562,"employees":9,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":1440457835,"clients":545,"employees":8,"offices":1},{"filedOn":"2026-07-22","regulatoryAum":1528043700,"clients":556,"employees":10,"offices":1}],"secFileNumber":"801-60492","legalName":"Delta Asset Management, LLC","displayName":"Delta Asset Management","slug":"delta-asset-management-113688","website":"https://deltaasset.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/113688/ed4079e4b0dd8028-r1.webp","tone":"dark","width":1329,"height":200,"sourceUrl":"https://www.deltaasset.com/","sourceLabel":"Delta Asset Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/delta-asset-management-llc/","founded":"1989","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"700 Colonial RD, Suite 220","city":"Memphis","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"38117"},"tradeNames":[],"registration":{"secApproved":"21 November 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businesses","clients":3,"fewerThan5":true,"regulatoryAum":8835004}],"feePrograms":[{"role":"main","program":"Investment advisory services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036434","versionId":1036434,"ratePeriod":"not_stated","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"ADV PART 2 BROCHURE","fee_rate_low":0.15,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T04:22:43.121543+00:00","documents":[{"name":"ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036434","versionId":1036434,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":1425080833}],"custodyNote":"Delta Asset Management has custody of $505M in client assets for 280 clients.","leadership":[{"name":"Dana Maury","title":"Chief Compliance Officer","crd":"3126375"},{"name":"Daniel Berg","title":"Executive Director of Finance","crd":"6146365"},{"name":"Myron Mall","title":"Managing Director","crd":"2270098"},{"name":"David Smith","title":"Managing Director","crd":"2240592"}],"ownership":[{"label":"WT Acquisition, LLC","detail":"Owner in the 75% or more ownership band and a control person, since May 2017."},{"label":"Hightower Holding, LLC","detail":"Indirect owner: a owner of WT Acquisition, LLC in the 75% or more band and a control person, since May 2017.","parent":"WT Acquisition, LLC"},{"label":"THL HT SPV, L.P","detail":"Indirect owner: a 25-50% owner of applicant's holding company of Hightower Holding, LLC in the 25% to 50% band and a control person, since December 2020.","parent":"Hightower Holding, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"700 Colonial RD, Suite 220","city":"Memphis","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"901-767-4791","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Educational seminars/workshops"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":9},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":4},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"22 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113688/PDF/113688.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036434","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Delta Asset Management have?","answer":"Delta Asset Management has 556 clients and manages $1.53 billion for them, as of July 2026. They include 303 individual clients, 240 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Delta Asset Management offer?","answer":"Delta Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Delta Asset Management charge?","answer":"Delta Asset Management charges 0.15%–1.00% for its Investment advisory services. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.","source":"ADV PART 2 BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Delta Asset Management use?","answer":"Delta Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.43B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Delta Asset Management have?","answer":"Delta Asset Management has 6 investment adviser representatives registered with state securities authorities, out of 10 employees, and 6 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Delta Asset Management invest in?","answer":"At the end of its last fiscal year, Delta Asset Management’s separately managed accounts held 79% exchange-traded equities, 9% state and local bonds, 4% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 2% U.S. government and agency bonds and 2% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Delta Asset Management?","answer":"Delta Asset Management is owned through a chain of holding companies by THL HT SPV, L.P. Its direct owner is WT Acquisition, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Delta Asset Management get paid?","answer":"Delta Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Delta Asset Management registered with the SEC?","answer":"Yes, Delta Asset Management has been registered with the SEC as an investment adviser since 21 November 2001. Its CRD number is 113688 and its SEC file number is 801-60492.","source":"Form ADV Part 1A, Item 1, filed 22 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Delta Asset Management?","answer":"Delta Asset Management’s main office is at 700 Colonial RD, Suite 220, Memphis, TN 38117. Its phone number is 901-767-4791. Its website is deltaasset.com.","source":"Form ADV Part 1A, Item 1.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}